SEAN-CC Regional Training SEAN-CC Regional Training Workshop: Building Capacity on Workshop: Building Capacity on
Access to Funds for Climate Change Access to Funds for Climate Change Adaptation InitiativesAdaptation Initiatives
NIE accreditation process
Mozaharul AlamRegional Climate Change Coordinator
UNEP Regional Office for Asia and the Pacific (ROAP)
About PresentationAbout Presentation
• Background of Adaptation Fund
• Modalities of Accessing Adaptation Fund
• Role of Designated Authority (DA)
• Accreditation Process for National Implementing Entities (NIEs)
• Key Elements of the Fiduciary Standard
• UNEP Support to the Countries
• Background of Adaptation Fund
• Modalities of Accessing Adaptation Fund
• Role of Designated Authority (DA)
• Accreditation Process for National Implementing Entities (NIEs)
• Key Elements of the Fiduciary Standard
• UNEP Support to the Countries
Background of Adaptation FundBackground of Adaptation Fund
The Adaptation Fund (AF) has been established under the Kyoto Protocol (KP) of the UNFCCC in 2001 in Marrakech
The governance structure and operational mechanism of the Adaptation Fund has been agreed in Bali in 2007
the operating entity of the Fund - the Adaptation Fund Board (AFB), and a Secretariat (the Global Environment Facility), and a Trustee (the World Bank)
The Fund is generated through share of proceeds from CDM project activities as well as through voluntary pledges of donor governments
Modalities of Accessing Adaptation FundsModalities of Accessing Adaptation Funds
AF allows countries to access fund through
Multilateral Implementing Entities (MIEs)
Regional Implementing Entities (RIEs)
National Implementing Entity (NIE)
Green Climate Fund (GCF) has also accepted the concept of direct access modality to support adaptation actions
Process of NIE accreditation and access of financial resources requires a country to meet certain requirements and standards.
Modalities of Accessing Adaptation FundModalities of Accessing Adaptation Fund
Designated AuthorityDesignated Authority
The Government focal point towards the Adaptation Fund Board / AFB Secretariat
Responsible for endorsing the use of selected implementation modality
NIE, MIE or RIE?
Which organization is the most suitable?
If NIE, which organization best meets criteria for applying accreditation?
Designated AuthorityDesignated Authority
Responsible for endorsing each project/ programme submitted for AF funding from the country
Understanding of the needs and priorities
Knowledge of adaptation-related and sector strategies and policies
Understanding of other adaptation activities taking place (avoidance of duplication)
Designated AuthorityDesignated Authority
“The Designated Authority shall confirm that the endorsed project/programme proposal is in
accordance with the government’s national or regional priorities in implementing adaptation
activities to reduce adverse impacts of, and risks posed by, climate change in the country or
region.”
Designated AuthorityDesignated Authority
Responsible for observing project/programme during implementation
Reviewing mid-term report
Ensuring that government continues to endorse
The Implementing Entity
The project or programme being implemented
Eligible to call off project implementation if it ceases to endorse the IE or the project
Designated AuthorityDesignated Authority
A person, not an institution
Clarity on authority
Specifically appointed to this task
Not automatically through other focal point roles, such as DNA, GEF Focal Point, etc.
Has to bear sufficient authority at the government level to perform this function.
The Accreditation ProcessThe Accreditation Process
1. Adaptation Fund Board sends letters to eligible parties to nominate a National Implementing Entity
In this regard letters were sent by the Board to the Permanent Representatives at the United Nations and the UNFCCC Focal points for all the eligible parties (countries)
2. The government of each eligible party is required to appoint a Designated Authority (DA).
3. The government/DA selects a potential National Implementing Entity (NIE) for accreditation by the Adaptation Fund.
Accreditation ProcessAccreditation Process
4. Applications for accreditation by potential National Implementing Entities (NIEs) should be sent online to the Adaptation Fund through the accreditation workflow system.
For this purpose the NIE is required to send an email to [email protected] requesting details on how to register as user in this workflow and access the online application form.
Accreditation ProcessAccreditation Process
5. The Adaptation Fund Secretariat undertakes a preliminary review of the submitted application to check for completeness.
In case of gaps it communicates the gaps to the NIE.
The completed application along with the supporting documents is submitted to the Adaptation Fund Accreditation Panel for assessment.
Accreditation ProcessAccreditation Process
6. The Accreditation Panel undertakes a detailed assessment of the application. Based on the Assessment the Panel may:
i) Request additional information/clarification from the applicant entity.
ii) Could suggest to Board that an on-site visit is required.
iii) Could recommend that there are substantial gaps in certain areas of the Fiduciary Standards and the applicant entity needs to improve its capacity in those areas in order to attain accreditation
Accreditation ProcessAccreditation Process
7. In case of any of the above 3 situations the Adaptation Fund /Accreditation Panel interacts further with the applicant entity till necessary information/documentation has been provided by the applicant entity or the Panel feels that no further information is forthcoming.
8. Panel makes recommendation to AF Board.
9. Adaptation Fund Board makes a final decision on accreditation of entity
10. The Adaptation Fund Secretariat communicates the Board decision to the applicant entity
Key Elements of Fiduciary StandardKey Elements of Fiduciary Standard
(a) Financial Integrity and Management:
1. Legal Status
2. Financial Statements And Audit Requirements
3. Internal Control Framework
4. Preparation Of Business Plans And Budgets
Key Elements of Fiduciary StandardKey Elements of Fiduciary Standard
(b) Institutional Capacity: project management, oversight, M&E, project closure etc.
1. Procurement
2. Project Preparation and Approval
3. Project implementation Planning and Quality-at-entry Review
4. Project Monitoring and Evaluation
5. Project Closure and Final Evaluation
Key Elements of Fiduciary StandardKey Elements of Fiduciary Standard
(c) Transparency and Self-investigative Powers: Competence to deal with financial mismanagement and other forms of malpractice
1. Internal procedures to handle malpractices involving Financial Management and other aspects
2. Power delegation for internal investigation, monitoring and reporting
3. Measures to be taken against specific malpractices
4. Towards zero tolerance
UNEP Regional Support Programme
UNEP support is demand-driven Support at any stage of DA Customized support Network of strong experts on DA Regional Help Desk Community of Practice Regional knowledge sharing workshop
UNEP’s a-la-carte services
NIE accreditation support Support NIE identification and selection
Support assessment of capacity gaps
Assistance on capacity development
Support accreditation application and address feedback from AF
UNEP’s a-la-carte services
Project formulation support
Checklist for identification of adaptation projects
Assistance in implementation modality
Guidance on project preparation
Primary assessment of project proposals
Demand driven
NIE Identification
Support
ProjectIdentification
Checklist
Implemen-tation
ModalitySupport Project
PreparationGuidance
PrimaryAssessmentOf ProjectProposals
AccreditationApplication
Support
CapacityDevelopment
Support
Capacity gapAssessment
Support
Country requests
NIE Accreditation
Project Formulation
THANK YOU !
For more information:Mozaharul Alam
Regional Climate Change CoordinatorUnited Nations Environment Programme (UNEP)
Email: [email protected]: www.unep.org/climatechange
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